department of the audit firm, an independent agency, or a network firm have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Capital Market Auditor Authority: the Office of the Securities and Exchange Commission (public agency) Rules, procedures and
(if any) Issued by Governmental Agency Photocopy: 0 copy Remark: Sign by the leader and the authorized signatory of the audit firm. 6) Result of Working Paper and the Audit Quality Control System
Agency Photocopy: 1 copy Remarks: Sign to certify on every page by the leader and the authorized signatory of the audit firm, and the audit firm’s seal on every page. 7) Profile and relevant details of the
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory
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auditing of the financial statements without the requirement to comply with other rules stipulated under this Notification: (1) being a foreign governmental agency who has the duty to perform financial audit
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange